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Anonymous Comment On Regulatory Notice 24-13

PDT rule makes it difficult to grow small accounts quickly, please remove it.

If someone with an account value less than $25,000 buys multiple (4 or more, maybe including options) securities, and they are all profitable, they risk getting hit with the PDT rule if they close all of them to realize their profits.

23-01270.pdf

24-00990.pdf

23-02954.pdf

2021071175101 Jessica Y. Jung CRD 4922155 AWC lp (2024-1733617207652).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071175101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Jessica Y. Jung (Respondent) General Securities Representative CRD No. 4922155 Pursuant to FINRA Rule 9216, Respondent Jessica Y. Jung submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2021070904301 Osaic Services, Inc., formerly known as SagePoint Financial, Inc. CRD 133763 AWC lp (2024-1733617201147).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021070904301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Osaic Services, Inc., formerly known as SagePoint Financial, Inc. (Respondent) Member Firm CRD No. 133763 Pursuant to FINRA Rule 9216, Respondent Osaic Services, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2022075597102 Spartan Securities, LLC CRD 146251 AWC lp (2024-1733617201130).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2022075597102 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Spartan Capital Securities, LLC (Respondent) Member Firm CRD No. 146251 Pursuant to FINRA Rule 9216, Respondent Spartan Capital Securities, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.